SEC Form 4 · accession 0000914190-16-000616
Arno Therapeutics, Inc · ARNI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Hamilton Ph.D.
Director
Period of report
Apr 7, 2016
Accepted (ET)
Apr 11, 2016 · 4:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001195116
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 22,079 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $0.37 | Apr 7, 2016 | A | 88,628 | A | — | Apr 7, 2026 | Common Stock | 88,628 | 88,628 | D |
| Stock Option (right to buy)F1 | $8.00 | holding | — | — | — | — | Sep 29, 2019 | Common Stock | 3,750 | 3,750 | D |
| Stock Option (right to buy)F1 | $8.00 | holding | — | — | — | — | Nov 5, 2020 | Common Stock | 1,250 | 1,250 | D |
| Stock Option (right to buy)F2 | $2.40 | holding | — | — | — | — | Nov 4, 2023 | Common Stock | 68,448 | 68,448 | D |
| Stock Option (right to buy)F1 | $2.90 | holding | — | — | — | — | Jan 24, 2024 | Common Stock | 34,224 | 34,224 | D |
| 2013 Series D Warrants (right to buy)F4 | $2.14 | holding | — | — | — | Oct 29, 2013 | Oct 29, 2018 | Common Stock | 38,940 | 38,940 | D |
Explanation of responses
- F1Currently exercisable.
- F2Vests in equal 36-monthly installments commencing 12/4/13.
- F3Vests in equal 12-monthly installments commencing 5/7/16.
- F4As a result of the Issuer's 1/12/16 private placement of common stock at $0.35/share, the exercise price and number of shares subject to the 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected, pursuant to anti-dilution adjustment provisions.